Compliance & Enforcement

SERC Reliability Corporation’s Compliance organization monitors compliance with Reliability Standards among all users, owners, and operators of the bulk power system (BPS) in the SERC Region. SERC’s goal is to engage with registered entities to promote and improve the reliability, adequacy, and critical infrastructure of the BPS by bridging the gaps between reliability and compliance through effective application of compliance tools and processes.  Following the Complaint process is one method for identifying non-compliance with Reliability Standards. Click this link for information about submitting a Complaint.

Compliance Monitoring

Compliance Monitoring

Compliance monitoring is accomplished through several compliance monitoring methods: Audits, Spot Checks, Self-Certifications, Compliance Investigations, Self-Reports, Periodic Data Submittals, and Complaints.

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Entity Assessment and Mitigation

Entity Assessment and Mitigation

Entity Assessment and Mitigation assesses the scope of non-compliance issues and the risk imposed to the BPS. Entity Assessment and Mitigation conducts Internal Risk Assessments (IRA) and Internal Control Evaluations (ICE) to focus compliance monitoring activities in the areas of highest risk.

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Enforcement

Enforcement

SERC Enforcement is responsible for resolving violations of the NERC Reliability Standards and the SERC Regional Reliability Standards. SERC Enforcement is bound by the NERC Rules of Procedure and strives to be independent, without conflict of interest, objective, and fair in resolving Enforcement actions.

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